Oversee distribution processing for global brokerage operations, worth $1 trillion in AUM. Develop systems, processes, workflows and controls to increase efficiency, refine client service and mitigate risk. Provide directional leadership to 10 associates engaged in corporate actions, foreign distributions, optional dividends, residual trading, class actions and associated functions in a high-volume, deadline-driven environment.Support new product/service initiatives by internal and external business partners. Determine and address business goals, performance expectations, industry standards, potential risk and regulatory mandates. Interpret ambiguity to make sound business decisions. Monitor and report performance metrics.+ Responsible for delivering functional results through the systematic design of processes, workflows, controls and through the integration of technology and people.+ Effectively utilize the resources of technology, people, time and money by evaluating and determining business needs, prioritizing and employing prudent decision making.+ Independently manage multiple complex change management projects in line with evolving business priorities while also assuring quality team performance and proactively addressing technology issues.+ Investigate issues and implement solutions to resolve team problems regarding processes, systems, products, regulation, data collection, data quality, resource allocation, controls and costs.+ Hire, train, engage, coach and develop associates to support current and future business needs of the team and department by setting clear expectations and measures, evaluating and assessing performance, ensuring associates are held accountable for their key responsibilities and objectives as well as communicating performance feedback.

Manage securities processing for domestic trust operations. Provide leadership to 15 associates engaged in trade execution, corporate actions, cost basis, account transfer and custody settlement. Prepare bimonthly financial reports for Investment Committee review.+ Support global trust operations; serve as subject matter expert regarding systems, procedures and risk. Periodically meet with local leaders and product partners to improve operations.+ Serve as pivotal point of contact for outside auditors, Internal Audit and Compliance and Office of the Comptroller of the Currency regarding SOX and a host of other regulatory mandates.+ Play an active role in departmental strategic planning and new system/process development.

Recruited to oversee boutique financial services firm’s day-to-day operations and formalize structure and procedures. Managed client investment portfolios, institutional relationships and strategic partnerships. Provided directional leadership to employees performing financial planning, business development and support functions. Facilitated compliance audits.Played an integral role in strategic business planning. Evaluated tools and processes to assure optimal service delivery, client retention and business development/sales productivity. Managed vendor relationships. Coordinated with outside specialists as needed to address complex client needs. Resolved client service, performance reporting and employee relations issues.Assured full legal compliance with SEC and FINRA requirements.• Played an integral role in dramatic growth of office associates and more than tripling AUM over 4 years. • Upgraded systems and procedures to improve internal workflows and processes. Implemented procedures and tools to enable “red carpet” client onboarding.

Team Leader / Product Master File (3/10–5/11)Assured interest and dividends were distributed accurately and timely to millions of clients in the U.S. and Canada. Performed troubleshooting and problem solving related to nonpayment by issuing companies. Resolved exceptions. Coached, developed and evaluated 8 associates.  Team Leader / Reconciliation Control (12/07–3/10)Monitored and addressed cash-related exceptions associated with client accounts at thousands of branch office locations across the U.S. and Canada. Tracked cash activities related to money market activity, suspense accounts and incoming checks. Supervised 8 team members.

Evaluated retail centers for investment value; made purchase/sale recommendations. Allocated funds for maintenance and improvements; upgraded properties to increase occupancy rates and ROI. Tracked income and expenses; managed financial records for family business.